0001213900-23-043154.txt : 20230525 0001213900-23-043154.hdr.sgml : 20230525 20230525170307 ACCESSION NUMBER: 0001213900-23-043154 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20230523 FILED AS OF DATE: 20230525 DATE AS OF CHANGE: 20230525 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Walters Marian CENTRAL INDEX KEY: 0001782905 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-37503 FILM NUMBER: 23961858 MAIL ADDRESS: STREET 1: C/O B. RILEY FINANCIAL, INC. STREET 2: 21255 BURBANK BLVD., SUITE 400 CITY: WOODLAND HILLS STATE: CA ZIP: 91367 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: B. Riley Financial, Inc. CENTRAL INDEX KEY: 0001464790 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 270223495 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 11100 SANTA MONICA BLVD STREET 2: SUITE 800 CITY: LOS ANGELES STATE: CA ZIP: 90025 BUSINESS PHONE: 818-884-3737 MAIL ADDRESS: STREET 1: 11100 SANTA MONICA BLVD STREET 2: SUITE 800 CITY: LOS ANGELES STATE: CA ZIP: 90025 FORMER COMPANY: FORMER CONFORMED NAME: Great American Group, Inc. DATE OF NAME CHANGE: 20090522 4 1 ownership.xml X0407 4 2023-05-23 0 0001464790 B. Riley Financial, Inc. RILY 0001782905 Walters Marian C/O B. RILEY FINANCIAL, INC. 11100 SANTA MONICA BLVD., SUITE 800 LOS ANGELES CA 90025 1 0 0 0 0 Common Stock 2023-05-23 4 A 0 1997 0 A 4561 D Common Stock 5701 I See Note Represents a restricted stock unit that settles in common stock of the Company and vests in full on the earlier of May 23, 2024, or the Company's next Annual Shareholder Meeting. Held of record by D AND M WALTERS FAMILY TRUST, DAVID ALLEN WALTERS AND MARIAN KROGIUS WALTERS, TTEES DTD 7/6/2020 /s/ Marian Walters 2023-05-25